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12 Sep 2014, 3:01 pm
In addition to members of NASAA’s Broker Dealer Section, the working group will include representatives from FINRA, the Securities Industry and Financial Markets Association (SIFMA) and the Financial Services Institute (FSI). [read post]
10 Sep 2014, 6:13 am
See Broker Sanctioned Over Unsuitable Sales of Private Placement Securities (FINRA sanctioned Karen Geiger); FINRA Sanctions Michael Wurdinger and Anil Vazirani Over GWG Debenture Sales (FINRA sanctioned brokers associated with Center Street Securities, Inc.). [read post]
8 Sep 2014, 6:23 am
Cole Financial, Inc. [read post]
6 Sep 2014, 8:53 am
Procedural HistoryAppellants, Pegasus Technologies Ltd. and Luidia, Inc., own several patents relating to digital pens and receiver devices which, they allege, the Appellees have infringed. [read post]
5 Sep 2014, 11:43 am
” Email the Roundup Team noteworthy law and security-related articles to include, and follow us on Twitter and Facebook for additional commentary on these [read post]
4 Sep 2014, 3:19 am
” Under the GLBA, financial institutions are required to “establish appropriate standards” to safeguard a customer’s personal financial information, in order: “(1) to insure the security and confidentiality of customer records and information; (2) to protect against any anticipated threats or hazards to the security or integrity of such records; and (3) to protect against unauthorized access to or use of such records or information which could… [read post]
3 Sep 2014, 4:14 am
It used to be that years would pass between the U.S. [read post]
3 Sep 2014, 1:57 am
Instead, they'll also find themselves defending their operations against entities backed by the resources and force of foreign governments – a very unfair battle of resources.As to IV, recall the history of US 6182894 :Intellectual Ventures I LLC and Intellectual Ventures II LLC (collectively,“IV”) sued PNC Financial Services Group, Inc. and PNC Bank, N.A. [read post]
1 Sep 2014, 9:23 pm
“Our top priority is protecting our customers and maintaining the trust they place in us every time they make a purchase,” said Warren Steytler, vice president of information security at Lowe’s Companies, Inc. [read post]
1 Sep 2014, 9:23 pm
“Our top priority is protecting our customers and maintaining the trust they place in us every time they make a purchase,” said Warren Steytler, vice president of information security at Lowe’s Companies, Inc. [read post]
27 Aug 2014, 5:21 pm
We are proud to have 8 distance LL.M. candidates with us. [read post]
27 Aug 2014, 5:31 am
The law office of Gana LLP is investigating a string of securities arbitration cases involving broker Mark Lisser (Lisser) which generally allege securities violations including churning, excessive use of margin, churning, unsuitable investments, and breach of fiduciary duty. [read post]
Financial Advisor Sanctioned Over Allegations of Unsuitable Overconcentrations of Private Placements
26 Aug 2014, 5:26 am
Lard entered the securities industry in 1994 and was associated with QA3 Financial Corp. [read post]
25 Aug 2014, 8:38 pm
Abbvie Inc. at *2. [read post]
25 Aug 2014, 6:36 am
Thereafter, Davis was associated with OneAmerica Securities, Inc. [read post]
21 Aug 2014, 10:38 am
” Tiffany (NJ) Inc. [read post]
21 Aug 2014, 10:30 am
” Tiffany (NJ) Inc. [read post]
20 Aug 2014, 2:11 pm
According to Assistant Secretary of Labor for Employee Benefits Security Phyllis C. [read post]
19 Aug 2014, 1:14 pm
Caribbean Cruise Line, Inc., et al., # 1:12-cv-04069 (U.S. [read post]
18 Aug 2014, 12:45 pm
Zeta Associates, of Fairfax, Virginia, specializes in technology used in national security. [read post]
